James Keith Barron

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • ALPHA WEALTH LIMITED

    FRN 519747

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 9 May 2024)
    • [FCA CF] Functions requiring qualifications (since 30 Mar 2024)
  • Henderson Loggie Financial Planning Limited (no longer approved here)

    FRN 192409

    • CF30 Customer (1 Mar 2012 to 23 Jan 2015)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF30 Customer (2 Dec 2011 to 24 Feb 2012)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.